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SEC Staff Issues No-Action Letters to Facilitate Cross-Border Compliance with the Research “Unbundling” Provisions of the European Union’s MiFID II
  • Vedder Price PC
  • USA
  • November 28 2017

On October 26, 2017, the staff of the SEC, following consultation with European authorities, issued three no-action letters to provide guidance to


SEC Staff Denies Request for No-Action Relief Concerning Allocation of Certain Fund of Fund Operating Expenses to Underlying Funds in the Same Fund Family
  • Vedder Price PC
  • USA
  • November 28 2017

On October 26, 2017, the staff of the SEC's Division of Investment Management denied granting no-action assurances under Section 17(d) of the


FAIR Act Expands Safe Harbor for ETF Research Reports Published by Broker-Dealers
  • Vedder Price PC
  • USA
  • November 28 2017

On October 6, 2017, the Fair Access to Investment Research Act of 2017 (FAIR Act) was signed into law. The FAIR Act directs the SEC to amend Rule 139


U.S. Department of the Treasury Issues Report on Asset Management and Insurance Regulation
  • Vedder Price PC
  • USA
  • November 28 2017

On October 26, 2017, the U.S. Department of the Treasury (Treasury) released a report that examined the current regulatory framework for the asset


SEC Staff Reportedly Considering Measures to Streamline ETF Approval Process
  • Vedder Price PC
  • USA
  • November 28 2017

According to a recent report by Bloomberg, SEC Chairman Jay Clayton has asked the SEC staff to craft a set of rule changes to streamline the ETF


IDC Calls on SEC Division of Investment Management Director Dalia Blass to Modernize Fund Directors’ Regulatory Responsibilities
  • Vedder Price PC
  • USA
  • November 28 2017

In a letter dated October 16, 2017, the Investment Company Institute's Independent Directors Council (IDC) asked new SEC Division of Investment


SEC Charges Adviser with Improperly Recommending Higher-Fee Mutual Funds
  • Vedder Price PC
  • USA
  • October 31 2017

On September 14, 2017, the SEC settled charges against SunTrust Investment Services (SunTrust), a dual registered broker-dealer and investment adviser


SEC Approves Three-Month Delay to New Continued Listing Standards for ETFs
  • Vedder Price PC
  • USA
  • October 31 2017

On September 29, 2017, the SEC approved a proposed rule change (the Extension Proposals) filed by each of The NASDAQ Stock Market LLC, NYSE Arca, Inc


SEC Staff Extends No-Action Relief on Auditor Independence and the “Loan Provision”
  • Vedder Price PC
  • USA
  • October 31 2017

On September 22, 2017, the staff of the SEC's Division of Investment Management (the Staff) issued a follow-up no-action letter (the Follow-Up Letter


OCIE Identifies Most Common Advertising Compliance Issues
  • Vedder Price PC
  • USA
  • October 31 2017

Through a risk alert issued September 14, 2017, the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE